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Thomas Patrick Stern

Tiaa-Cref Individual & Institutional Services, LLC

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About Thomas Patrick Stern

Thomas Patrick Stern is a financial advisor currently registered with TIAA-CREF Individual & Institutional Services, LLC. Thomas has been working in the financial services industry for 5 years, and previously worked at Wells Fargo Clearing Services, LLC, Titan Global Technologies LLC and Ally Invest Securities LLC. Thomas holds several industry licenses, including Series 7, 63, 24 and 4. Thomas has a diverse background and can provide financial planning and portfolio management services for a variety of clients.

Firm Information

Thomas Stern is currently registered with Tiaa-Cref Individual & Institutional Services, LLC. TIAA-Cref Individual & Institutional Services, LLC is a Limited Liability Company formed in 2004 and headquartered in New York, NY. The firm provides financial planning and portfolio management services for individuals, corporations, charitable organizations, and high-net-worth individuals. They also offer selection of other advisers and participate in wrap fee programs. TIAA-Cref manages over $32 billion in assets for approximately 73,602 clients across the United States.
Tiaa-Cref Individual & Institutional Services, LLC

730 THIRD AVENUE

NEW YORK, NY 10017-3206

$32.68B

Assets Under Management

31,192

Total Clients

2,960

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Compensation from affiliates

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Thomas Stern’s Registration & Firm History

NC

04/26/2024 - Present

Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)

MO

12/21/2023 - 04/17/2024

WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)

NY

04/21/2022 - 02/15/2023

TITAN GLOBAL TECHNOLOGIES LLC (NEW YORK NY)

NC

09/14/2017 - 03/29/2022

ALLY INVEST SECURITIES LLC (Charlotte NC)

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Licenses & Designations

BC

Issued 10/19/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/11/2018

Series 4 - Registered Options Principal Examination

BC

Issued 04/23/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/14/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Patrick Stern.
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